Month: May 2020

Some brokers claim to be low price, offering investors the lowest price for execution. Others focus on other factors such as speed or liquidity, claiming that their method of obtaining execution for a proposed trade transaction is superior based on …

Bloomberg Tradebook Settles Fraud Charge with SEC Read More »

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Respondent Kirkland is an investment adviser who founded Universal Financial Independence, Inc., a firm created to sell books and subscriptions. She was joined in marketing the trading system by Respondents Duane Davis, the founder of Investment Software Systems, Inc. and …

Advisor Sanctioned Based on False Advertising, Testimonial Claims Read More »

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